Best (& Worst) Practices In Private Sector
Managed Mental Healthcare


Part I: Level-Of-Care Criteria
May 1999

Key findings

The following is a "quick and dirty" listing of the major findings in this study:

Best Practices

  1. Truly making the level-of-care criteria available to the public.
  2. Including detailed bibliographies and literature reviews.
  3. Basing criteria on the American Psychiatric Association's (APA) Diagnostic and Statistical Manual (DSM) IV and practice guidelines developed by the APA and the American Academy of Child and Adolescent Psychiatry.
  4. Updating criteria sets annually due to improvements in medical practice and/or input from the clinical community.
  5. Including extensive involvement of consumers, families, and advocacy organizations in the development process (through advisory boards and through feedback from appropriate organizations).
  6. Including extensive involvement of the clinical community in the development process.
  7. Having criteria covering the full continuum of care.
  8. Including community support services in a meaningful way.
  9. Including consumer-operated services in a meaningful way.
  10. Having distinct criteria across treatment settings for children and adolescents.
  11. Including detailed criteria for substance abuse versus mental health, as well as protocols for persons with co-occurring disorders.
  12. Embracing the concept of improving functioning and/or enhancing well being.
  13. Embracing the concept of the consumer's responsibility to participate in their own care.
  14. Embracing the concept of treatment in the least restrictive environment appropriate to meeting the consumer's needs.
  15. Supporting individualized treatment planning, including attention to psychosocial, occupational and cultural factors.
  16. Adopting an orientation of "recovery."
  17. Allowing the consumer's preferences among treatment options to play a role in the authorization process.
  18. Defining "dangerousness" comprehensively in acute admission criteria.
  19. Addressing the prevention of further deterioration in admission criteria.
  20. Using realistic definitions of "treatment settings" that are comparable to the programs in the marketplace.
  21. Allowing authorization of the next highest level of service when the appropriate treatment setting is not conveniently available in the community.
  22. Allowing authorization of the next highest level of service when the clinically appropriate treatment setting is not sensitive to the consumer's needs.
  23. Encouraging the development of a written agreement with the consumer when compliance is a challenge.
  24. Addressing the need for family support for consumers who are parents.
  25. Incorporating support for consumers' family members.
  26. Including criteria for family stabilization programs.
  27. Assessing whether the consumer has a family or support network in place.
  28. Assessing whether the family's involvement is appropriate and/or desired by the consumer.
  29. Including a withdrawal scale for inpatient detoxification.
  30. Addressing maintenance efforts to prevent relapse.
  31. Demonstrating an understanding that relapse during the beginning stages of treatment is common and is not treatment failure.
  32. Incorporating an automatic admission provision for medical detoxification for a CIWA-A score greater than or equal to 20 for consumers using multiple drugs.
  33. Including mobile crisis services.
  34. Addressing the special needs of pregnant women who have substance abuse problems.
  35. Including linguistic support services.
  36. Requiring treatment modalities to be culturally acceptable to the consumer.
  37. Requiring providers to have an understanding of any applicable mono-cultural, inter-faith, and/or multi-racial family dynamics.
  38. Having an appropriate level of provider autonomy, without care managers excessively directing care.
  39. Having reasonable documentation requirements for providers.
  40. Requiring coordination and consultation among a consumer's various providers.
  41. Allowing room for consultations, when appropriate.
  42. Providing clear language in denial notification letters with respect to the reasons for the denial and the avenues and processes for appealing the decision.
  43. Offering a recommendation of an alternative treatment plan when the proposed one is denied authorization.
  44. Offering an independent appeal option.
  45. Offering 4 levels of appeal.

Worst Practices

  1. Limiting public access to the level-of-care criteria.
  2. Failing to include detailed bibliographies and literature reviews.
  3. Failing to reference the DSM-IV and/or practice guidelines developed by the American Psychiatric Association and the American Academy of Child and Adolescent Psychiatry.
  4. Updating criteria as infrequently as once every three years.
  5. Failing to involve consumers, families, and advocacy organizations sufficiently and/or meaningfully in the development process.
  6. Leaving gaps (to varying degrees) in the continuum of care covered.
  7. Failing to include community support services in a meaningful way.
  8. Failing to address the special considerations related to children when assessing the appropriateness of given treatment settings.
  9. Failing to address the needs of persons with substance abuse problems.
  10. Failing to address the needs of persons with co-occurring substance abuse and mental health problems.
  11. Ignoring the concept of improving functioning and/or enhancing well being.
  12. Ignoring the concept of the consumer's responsibility to participate in his/her own care.
  13. Failing to embrace the concept of treatment in the least restrictive environment appropriate to meeting the consumer's needs.
  14. Failing to support individualized treatment planning, including attention to psychosocial, occupational and cultural factors.
  15. Failing to adopt an orientation of "recovery."
  16. Failing to allow the consumer's preferences among treatment options to play a role in the authorization process.
  17. Over-simplifying or excessively limiting the definition of "dangerousness" included in acute admission criteria.
  18. Failing to address the prevention of further deterioration in admission criteria.
  19. "Inflating" treatment setting definitions beyond what is common in the marketplace in order to authorize providers at a lower rate of payment.
  20. Using a loose definition of a treatment setting to give the appearance that a certain service is included, when in reality, it is not.
  21. Failing to address the needs of consumers when the appropriate treatment setting is not conveniently available in the community.
  22. Failing to address the needs of consumers when the clinically appropriate treatment setting is not culturally sensitive to the patient's needs.
  23. Using lack of compliance as just cause to deny authorization.
  24. Failing to address the need for family support for consumers who are parents.
  25. Failing to address the need for support for consumers' family members.
  26. Failing to include criteria for family stabilization programs.
  27. Ignoring whether the consumer has a family or support network in place.
  28. Ignoring whether the family's involvement is appropriate and/or desired by the consumer.
  29. Failing to address maintenance efforts to prevent relapse.
  30. Using relapse during the beginning stages of treatment to deny further treatment.
  31. Excluding mobile crisis services from the criteria set.
  32. Failing to address the special needs of pregnant women who have substance abuse problems.
  33. Requiring 12-step program participation in order to access any other services related to substance abuse treatment.
  34. Failing to involve a child and adolescent psychiatrist in residential treatment criteria for this population.
  35. Failing to address the need for linguistic support services.
  36. Failing to ensure that the authorized treatment modalities are culturally acceptable to the consumer.
  37. Failing to require that providers have an understanding of any applicable mono-cultural, inter-faith, and/or multi-racial family dynamics.
  38. Giving care managers excessive authority to prescribe care.
  39. Having excessive documentation requirements for providers.
  40. Failing to address coordination of mental health and physical health needs.
  41. Failing to address the need for consultations.
  42. Producing denial notification correspondence that does not include clear language with respect to the reasons for the denial and the avenues and processes for appealing the decision.
  43. Failing to offer a recommendation of an alternative treatment plan when the proposed one is denied authorization.
  44. Failing to offer an independent appeal option (often a payor worst practice).
  45. Offering only 2 levels of appeal.
spacer Introduction

Key findings

"Report card" on information sharing

Methodology

Development process

Comprehensiveness

Corporate philosophy

Access issues

Compliance

Child and family issues

Substance abuse and co-occurring disorders

Cultural competence

Provider autonomy

Coordination/ consultation among providers

Denial notification and appeal processes

More observations, recommendations and areas for further study

Acknowledgments